tZERO Securities, LLC (tZERO Securities) is a member of the Financial Industry Regulatory Authority (“FINRA”) (www.finra.org) and member of the Securities Investor Protection Corporation (“SIPC”). tZERO Securities provides all brokerage services for conventional securities, including, without limitation, digitally enhanced securities. All services relating to digital asset securities are provided pursuant to tZERO Securities’ fully disclosed clearing agreements with tZERO Digital.
tZERO Digital Asset Securities, LLC (tZERO Digital) is a member of FINRA and SIPC. Digital asset securities may not be “securities” as defined under the Securities Investor Protection Act (SIPA)—and in particular, digital asset securities that are “investment contracts” under the Howey test but are not registered with the Securities and Exchange Commission are excluded from SIPA’s definition of “securities”—and thus the protections afforded to securities customers under SIPA may not apply. tZERO Digital deems itself to be in possession or control of digital asset securities for the purposes of paragraph (b)(1) of Rule 15c3-3 based on its compliance with this the SEC’s December 23, 2020 statement on “Custody of Digital Asset Securities by Special Purpose Broker-Dealers.”
All investments involve risks, including the possible loss of capital, you are responsible for making your own investment decisions. Investors should be aware that system response, execution price, speed, liquidity, market data, and account access times are affected by many factors, including market volatility, size and type of order, market conditions, system performance, and other factors. There are also unique risks specific to digital asset securities, including, without limitation, fraud, manipulation, theft, and loss.
tZERO Securities and tZERO Digital (collectively, the tZERO BDs) are not licensed or authorized to operate in any jurisdiction other than the United States of America and some of its associated territories (USA). Further, the tZERO BDs do not have, maintain or represent that there are any authorized locations, offices, or other physical or presence in any jurisdiction other than the USA. Any and all marketing efforts regardless of medium, including but not limited to radio, print, television, and or internet advertising is directed solely toward customers and potential customers in the USA. As such, the tZERO BDs do not advertise, solicit customers, attempt to induce business, or make any other efforts to attract customers or clients in any jurisdiction where the tZERO BDs are not licensed or authorized to operate, and any advertisement or solicitation observed in any location other than the USA (foreign jurisdictions) is not directed toward citizens or residents of that location (foreign applicants). If you are a resident, citizen, are currently present or otherwise domiciled in any foreign jurisdiction or anywhere the tZERO BDs are not authorized to operate, the tZERO BDs may accept your account application provided that the applicant understands and agrees that they were not solicited or otherwise induced by either tZERO BD, its agents or employees to apply for an account. If you are a foreign applicant you represent, warrant and agree that you will comply with all local laws related to your brokerage accounts with the tZERO BDs and that neither tZERO BD or its staff may not be legally authorized to provide services to foreign applicants. Foreign applicants should further understand that funding may not be accepted in non US dollars, and or from foreign bank accounts.